Comparative effects of ( S )-ketamine and racemic ( R/S )-ketamine on psychopathology, state of consciousness and neurocognitive performance in ...

 
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Comparative effects of ( S )-ketamine and racemic ( R/S )-ketamine on psychopathology, state of consciousness and neurocognitive performance in ...
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                                              European Neuropsychopharmacology xxx (xxxx) xxx

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Comparative effects of (S)-ketamine and
racemic (R/S)-ketamine on
psychopathology, state of consciousness
and neurocognitive performance in healthy
volunteers
Torsten Passie a,b,∗, Hans-Anton Adams c, Frank Logemann c,
Simon D. Brandt d, Birgitt Wiese e, Matthias Karst c

a
  Hannover Medical School,Hannover,Germany
b
  Goethe University,Frankfurt/Main,Germany
c
  Department of Anesthesiology and Intensive Care Medicine,Pain Clinic,Hannover Medical School,
Germany
d
  School of Pharmacy & Biomolecular Sciences,Liverpool John Moores University,Liverpool L3 3AF,
United Kingdom
e
  Institute of General Practice,Hannover Medical School,Germany

Received 7 June 2020; received in revised form 3 January 2021; accepted 10 January 2021
Available online xxx

     KEYWORDS                            Abstract
     Ketamine;                           Ketamine and its (S)-enantiomer show distinct psychological effects that are investigated in
     (S)-ketamine;                       psychiatric research. Its antidepressant activity may depend on the extent and quality of these
     Neurocognition;                     psychological effects which may greatly differ between the enantiomers.
     Psychopathology;                    Previous data indicate that the (S)-ketamine isomer is a more potent anesthetic than (R)-
     Altered states of                   ketamine. In contrast, in subanesthetic doses (R)-ketamine seems to elicit fewer dissociative
     consciousness;                      and psychotomimetic effects compared to (S)-ketamine.
     Anesthesia                          In this randomized double-blind placebo-controlled trial the effects of (R/S)-ketamine and
                                         (S)-ketamine on standardized neuropsychological and psychopathological measures were com-
                                         pared. After an initial bolus equipotent subanesthetic doses of (R/S)- and (S)-ketamine or
                                         placebo were given by continuous intravenous infusion to three groups of 10 healthy male
                                         volunteers each (n = 30).

    ∗ Corresponding author.
      E-mail address:dr.passie@gmx.de (T. Passie).

https://doi.org/10.1016/j.euroneuro.2021.01.005
0924-977X/© 2021 Published by Elsevier B.V.

    Please cite this article as: T. Passie, H.-A. Adams, F. Logemann et al., Comparative effects of (S)-ketamine and racemic (R/S)-ketamine
    on psychopathology, state of consciousness and neurocognitive performance in healthy volunteers, European Neuropsychopharmacology,
    https://doi.org/10.1016/j.euroneuro.2021.01.005
Comparative effects of ( S )-ketamine and racemic ( R/S )-ketamine on psychopathology, state of consciousness and neurocognitive performance in ...
ARTICLE IN PRESS
JID: NEUPSY                                                                                              [m6+;January 21, 2021;13:46]
                                         T. Passie, H.-A. Adams, F. Logemann et al.

                                   (R/S)-Ketamine and (S)-ketamine produced significant psychopathology and neurocognitive im-
                                   pairment compared to placebo. No significant differences were found between (R/S)-ketamine
                                   and (S)-ketamine. (S)-Ketamine administration did not result in reduced psychopathological
                                   symptomatology compared to (R/S)-ketamine as suggested by previous studies. However, this
                                   study revealed a somewhat more “negatively experienced” psychopathology with (S)-ketamine,
                                   which opens questions about potential “protective effects” associated with the (R)-enantiomer
                                   against some psychotomimetic effects induced by the (S)-enantiomer.
                                   As the antidepressant effect of ketamine might depend on a pleasant experience of altered
                                   consciousness and perceptions and avoidance of anxiety, the ideal ketamine composition to
                                   treat depression should include (R)-ketamine. Moreover, since preclinical data indicate that
                                   (R)-ketamine is a more potent and longer acting antidepressant compared to (S)-ketamine and
                                   (R/S)-ketamine, randomized controlled trials on (R)-ketamine and comparative studies with
                                   (S)-ketamine and (R/S)-ketamine are eagerly awaited.
                                   © 2021 Published by Elsevier B.V.

1.   Introduction                                                   a large sample size showed that “floating” as a subtype
                                                                    of dissociation was not associated with its antidepressant
Psychopharmacological research carried out with the N-              response (Acevedo-Diaz et al., 2020). In a systematic re-
methyl-D-aspartate (NMDA) receptor antagonist ketamine              view only three of eight trials (37.5%) found a correlation
included the investigation of schizophrenia-like psychotic          between ketamine‘s dissociative and psychotomimetic ef-
states (model psychosis) (Gouzoulis-Mayfrank et al., 2005;          fects with depression changes (Mathai et al., 2020). There-
Honey et al., 2006) modeling of dissociative states of con-         fore, as a very recent review on this topic frames, the rela-
sciousness (Chambers et al., 1999). Furthermore, several            tionship between dissociation and ketamine is still an unre-
studies have shown that treatment resistant depression              solved issue and needs a broader research approach across
(TRD) improves significantly during and after infusions of          preclinical models, neural systems, and cognitive processes
subanesthetic doses of (R/S)-ketamine (Berman et al., 2000;         (Ballard and Zarate Jr., 2020).
Kudoh et al., 2002; Rasmussen et al., 2013) either as single-          For the purpose of anesthesia, these dissociative and
dose or repeated doses (Zarate et al., 2006; aan het Rot            psychotomimetic symptoms are managed by simultaneous
et al., 2010; Murrough et al., 2013; Shiroma et al., 2014).         application of benzodiazepines so that complete uncon-
   Ketamine is usually used as a racemic mixture, i.e. (R/S)-       sciousness is induced. In cases where sub-anesthetic doses
ketamine. For over 20 years, use of the more potent (S)-            are employed within the psychopharmacological research
enantiomer (White et al., 1985) (Ketanest S⃝  R
                                                ) by anesthe-       setting and the treatment of depression, however, co-
siologists has become a preferred option due to the as-             administration of other substances might be undesirable as
sumption of increased anesthetic and analgesic properties,          ketamine‘s acute psychological effects are a prerequisite
a more suitable control of anesthesia, and of an improved           of answering the research question and may help to pro-
recovery from anesthesia (Hempelmann and Kuhn, 1997).               duce the antidepressant response (Aust et al., 2019), re-
In TRD response rates after infusions of (S)-ketamine (0.4          spectively. Aust et al. (2019) showed in a cohort of 31 pa-
and 0.2 mg/kg) or (R/S)-ketamine (0.5 mg/kg) were as                tients with TRD, who were treated with three ketamine
high as 67% (Singh et al., 2016) or 91.6% (Shiroma et al.,          infusions per week (0.5 mg/kg over 40 min) administered
2014), respectively, but “response” has been defined dif-           for two consecutive weeks, that the 14 non-responders
ferently in these studies. An intransal (S)-ketamine prepa-         experienced significant ketamine-induced anxiety. More-
ration was developed and in 2019, the US FDA and EMA                over, Stocker et al. (2019) observed that ketamine-induced
approved for TRD (FDA, https://www.fda.gov, 2019, EMA,              feeling of lightness according to breaking through emo-
https://www.ema.europa.eu, 2019). However, as only two              tional barriers were associated with antidepressant bene-
of the five approval studies demonstrated positive results          fits. Therefore, in these circumstances, ketamine prepa-
and due to the risk of serious adverse effects, approval was        rations and doses associated with a balanced mixture
restricted under the Risk Evaluation and Mitigation Strategy        of psychological effects are even more important and
(FDA, https://www.fda.gov, 2019, EMA, https://www.ema.              desirable.
europa.eu, 2019).                                                      Earlier studies indicated lower psychotomimetic activity
   The use of ketamine in anesthesia and psychiatry may             of (S)-ketamine versus equipotent doses of (R/S)-ketamine
be accompanied by the manifestation of somatic and espe-            (Adams et al., 1992a; Engelhardt et al., 1994). (S)-Ketamine
cially psychotomimetic symptoms such as perceptual distur-          showed increased hypnotic and analgesic potency and re-
bances, experiences of dissociation, euphoria, and anxiety          duced recovery time versus (R)-ketamine (White et al.,
(Short et al., 2017).                                               1980, 1985). Furthermore, compared to (R/S)-ketamine,
   There is an ongoing and controversial debate whether the         (S)-ketamine showed less drowsiness, less lethargy and
amount extent of dissociative symptoms might be a clinical          less impairment of cognitive capacity (Muller et al., 2016;
biomarker to predict ketamine‘s efficacy in TRD (Aust et al.,       Pfenninger et al., 2002). For this reason, (S)-ketamine is
2019; Ballard and Zarate Jr., 2020). A recent study using           widely used in anesthesia.

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   The pharmacodynamics of ketamine cannot be fully ex-             2.2.   Experimental design
plained by a single mechanism alone. A complex pattern
of interactions involving opioid receptors, monoaminergic           A double-blind placebo-controlled study was performed
and cholinergic systems is known. NMDA receptor antago-             (n = 30). Sample size calculations were modelled on the
nism, however, is understood to play a key role in its mech-        BPRS scores of the Krystal et al. (1994) study. Based on this
anism of action (Adams, 1998). Ketamine’s interactions with         we hypothesized a Cohen‘s d of 0.4. Assuming 3 groups, an
opioid receptors have a possible role in the induction of           alpha of 0.05, and a power of 80% sample size calculation
psychotomimetic effects. (S)-Ketamine has a higher affin-           resulted in a number of 6 participants per group. Due to
ity to the sigma receptor than (R)-ketamine, which im-              the equivalent doses of (R/S)-ketamine and (S)-ketamine we
plies some action on this receptor at subanesthetic doses           presumed fewer differences between the groups compared
(Hustveit et al., 1995).                                            to the model of “low dose” and “high dose”. Therefore, we
   More recently, activation of the brain-derived neu-              increased the sample size to 10 healthy volunteers in each
rotrophic factor (BDNF)-tropomyosin receptor kinase B               group, a magnitude, which is also in line with our earlier
(TrkB) signaling and synaptogenesis via AMPA receptors are          cross-over trial (Passie et al., 2005). However, in respect to
identified as the proposed cellular mechanisms for antide-          psychopathological and neurocognitive measures the mag-
pressant effects (Yang et al., 2018). Both, (S)-ketamine and        nitude of the differences between the subanesthetic doses
(R)-ketamine and their relevant metabolites, activate AMPA          of (R/S)-ketamine and (S)-ketamine were largely unknown,
receptors, although they seem to engage different intracel-         what complicates sample size calculations.
lular pathways. Moreover, from animal data it can be as-               Subjects received placebo (group 1, n = 10), (R/S)-
sumed that in contrast to (S)-ketamine, (R)-ketamine elicit         ketamine (group 2, n = 10) or (S)-ketamine (group 3,
a more sustained antidepressant effect through increased            n = 10) in a randomized order. All experiments were con-
synaptogenesis in selected brain regions (Yang et al., 2015).       ducted in the early afternoon. Commercially available (S)-
In fact, a small open-label pilot study suggested that (R)-         ketamine (Ketanest S⃝   R
                                                                                              , Parke-Davis, Freiburg, Germany)
ketamine might be associated with rapid-acting antidepres-          and (R/S)-ketamine (Ketanest⃝    R
                                                                                                       , Parke-Davis, Freiburg, Ger-
sant and sustained antidepressant actions in TRD patients           many) was used. In all subjects, an intravenous catheter
(Leal et al., 2020).                                                (14 G Introcan⃝ R
                                                                                      ) was initially inserted into a cubital vein.
   The present study was designed to systematically com-            (S)-Ketamine was diluted in 50 ml NaCl 0.9% solution. Con-
pare the psychological effects of equipotent doses of (R/S)-        tinuous intravenous infusion was achieved using a syringe
and (S)-ketamine using validated psychopathological rating          pump. Because of the large distribution volume of ke-
scales and neurocognitive tests. An intravenous adminis-            tamine in the body, intravenous infusion commenced with
tration route was used because of a very high first pass            a bolus of 0.1 mg/kg (S)-ketamine or 0.2 mg/kg (R/S)-
metabolism of ketamine and a much higher production of              ketamine, applied during a 5 min period and followed by
one of the major (active) metabolite nor-ketamine, when             a continuous infusion at 0.006 mg/kg/min (S)-ketamine or
ketamine is given by the oral route. In contrast to other           0.012 mg/kg/min (R/S)-ketamine for 60 min. The 2:1 ratio
studies, it was avoided to consider declining plasma levels         of racemic to (S)-ketamine dosing was based on previously
during testing by employing a steady infusion technique af-         published pharmacodynamic studies, which evaluated the
ter administration of an initial bolus.                             clinical potency for (S)-ketamine twice compared to (R/S)-
                                                                    ketamine (Schüttler et al., 1987; Vollenweider et al., 1997a;
                                                                    White et al., 1980, 1985). For the purpose of anesthesia,
2.     Experimental                                                 half the dose is used for (S)-ketamine compared to (R/S)-
                                                                    ketamine (Geisslinger et al., 1993; White et al., 1980).
2.1.    Subjects                                                       In the context of TRD the 2:1 ratio of racemic to
                                                                    (S)-ketamine dosing is only weakly established. However,
The ethical committee of Hannover Medical School (IRB) ap-          Singh et al. (2016) showed a robust antidepressant effect af-
proved the study-protocol as outlined below. Thirty healthy         ter 0.20 mg/kg IV (S)-ketamine similar to 0.40 mg/kg. More-
male volunteers (physicians/medical students) were re-              over, in a head-to-head comparative study of (S)-ketamine
cruited by notice within the university. Written informed           (0.25 mg/kg IV) and racemic ketamine (0.5 mg/kg IV) us-
consent was provided and the option to withdraw from the            ing the 2:1 ratio non-inferiority of (S)-ketamine in this
study was available at any time without disclosure of rea-          dose was observed (Correia-Melo et al., 2020). The (S)-
sons. Subjects were aged 25.83 years (± 3.41 SD) and had            ketamine/(R/S)-ketamine dose was employed at subanes-
a mean IQ of 120 as determined with the multiple-choice             thetic levels to enable subjects to perform tests. NaCl 0.9%
vocabulary intelligence test (Mehrfachwahl-Wortschatz-              solution was used as placebo.
Intelligenztest B (MWT-B)) (Lehrl, 2005) (score 33.00 ± 2.03;          Ketamine plasma levels were assessed during the exper-
percent range 88.6). All subjects were medically screened           iment. During the course of the experiment an anesthesi-
and excluded from the study, if either a history of seri-           ologist was present. Volunteers were told that they might
ous medical or psychiatric problems were present, such              receive a placebo or an active drug. Following initiation of
as alcohol and drug abuse, psychopharmacological medica-            infusion, subjects were instructed to take a supine position
tion, seizures, or an IQ < 90. A physical examination was           on a bed and be quiet to simulate a post-anesthetic situ-
performed, and volunteers with neurological, cardiac, pul-          ation. After 25 min, subjects changed to a sitting position
monary, hepatic or renal diseases were excluded. All sub-           to begin neurocognitive testing. After completion of the as-
jects reported normal or corrected to normal vision before          sessments, the infusion was stopped after 60 min and sub-
entry into the study.                                               jects were observed for the following hours.

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2.3.   Measurements                                                  2.3.4. Neurocognitive measures
                                                                     The Benton Visual Retention Test is a standardized pa-
2.3.1. Analysis of (R/S)-ketamine and (S)-ketamine                   per and pencil test of visual memory and visuomotor co-
plasma levels                                                        ordination (Benton, 1945). The test material consists of 10
Venous plasma concentrations of (R/S)-ketamine and (S)-              separate line drawings, adapted from those used by Max
ketamine were measured by high performance liquid chro-              Wertheimer in his studies in Gestalt psychology. Each design
matography and ultraviolet detection (HPLC-UV) at 5, 30              is printed against a white background on a separate card.
and 60 min of the experiment using an established method             The testing condition involves the presentation of each of
(Adams et al., 1992b).                                               the ten geometric figures for 10 s, after which the subject
                                                                     attempts to draw the figure from memory (without time
2.3.2. Clinician administered psychopathology                        limit). The Benton Visual Retention Test is the most fre-
Clinician administered psychopathology was measured us-              quently used screening device for signs of organic cerebral
ing the Brief Psychiatric Rating Scale (BPRS) (Overall and           dysfunction (Kuzis et al., 1999).
Gorham, 1962). The BPRS scores were assessed blind by a                 The computerized neurocognitive testing sessions started
single educated research psychiatrist at −15, 5, 30, 60, and         at around 3.00 p.m. Tests were presented on a 17 inch com-
120 min of the experiment. BPRS baseline rating was done             puter screen. The subjects sat upright in front of the screen
at −15 min. As described in Passie et al. (2005), total psy-         on a chair, which was adjusted to a level, which insured that
chopathological symptoms were evaluated using the mean               the subject was placed at a distance of 50 cm in front of
values of the five BPRS ratings. Clinical notes on the gen-          the center of the screen. The screen was set on a table, on
eral reaction of the subjects were also taken by the blind           which the two response panels for the two tests were posi-
clinician.                                                           tioned so that the subjects could easily handle the response
                                                                     buttons by using the dominant hand.
2.3.3. Self-administered psychopathology                                The Go/NoGo Test is standardized test to evaluate atten-
Self-administered psychopathology was measured retro-                tional functioning and the ability to suppress an inadequate
spectively with the five-dimensional questionnaire for the           reaction to a given stimulus. This ability attributed to the
assessment of altered states of consciousness (5D-ASC)               frontal cortex, will lead to erroneous reactions when frontal
(Dittrich, 1998; Dittrich et al., 2006, 2010). Measure-              cortical functioning is disturbed. The test consisted of lit-
ments took place 90–100 min after infusion was stopped.              tle squares filled with five different patterns. These squares
The 5D-ASC is a 94-item-questionnaire developed from                 were presented one at a time in a row for a short time on
the 3-dimensional questionnaire on the Abnormal Mental               a computer screen. The subjects were then asked to react
States questionnaire (APZ) (Dittrich, 1998), which was in-           only to the two critical of the five patterns by pushing a but-
troduced for the quantitative assessment of altered states           ton. Fifty different stimuli are presented (20 critical). Both
of consciousness (ASCs) in healthy subjects (n = 393)                errors and reaction time were assessed (Müller-Vahl et al.,
(Dittrich, 1985). External validation was obtained from an           2001).
international study carried out in six countries (n = 1133)             The Divided Attention Test is computer-based binary
(Dittrich et al., 1985). The 5D-ASC questionnaire assesses           choice reaction test. The subjects have to react differen-
subjective experience retrospectively by using a visual ana-         tially to a distinct tone and a specific pattern of white
log scale for each item with the two end points (‘not                squares on a black screen. The tones and the white squares
more than usual’/‘much more than usual’). The common                 are presented in random order. Reaction time and mistakes
denominator of the 5D-ASC is described by five oblique               reflect not only motor speed but also the decision-making
dimensions, designated as ‘oceanic boundlessness (OSE)’,             process (Zimmermann and Fimm, 1989).
‘dread of ego dissolution (AIA)’, ‘visionary restructuraliza-           The Reaction Time Test measures motor and recognition
tion (VUS)’, ‘vigilance reduction (VIR)’, and ‘auditory al-          reaction time, as well as total reaction time. It is part of
terations (AWV)’. Beneficial effects are associated with OSE         the “Wiener Testsystem”, a recognized neurocognitive test-
and VUS (Studerus et al., 2010; Vlisides et al., 2018). OSE is       ing battery. Reaction time and discriminatory function were
referring to positively experienced ego dissolution and VUS          assessed by asking subjects to press a button in response
to perceptual alterations and altered meaning of percepts.           to the successive presentation of 15 specific single or com-
In contrast, AIA, VIR, and AWV may be associated with ad-            bined visual/auditory stimuli. They were presented in ran-
verse effects (Studerus et al., 2010; Vlisides et al., 2018).        domized sequence as light (single visual stimulus) or tone
AIA is referred to anxious ego dissolution, VIR to sleepi-           (single auditory stimulus, 2400 Hz tones) or both. Subjects
ness and reduction in self-control, and AWV to often dis-            were instructed to push a button as quickly as possible when
tressing acoustic phenomena. A further description of the            a specific constellation of combined stimuli (light plus tone)
five oblique subscales of the 5D-ASC is given in Table 1.            was present (Hasse-Sander et al., 1982).
The reliability and validity of the scales are satisfactory             The Signal Detection Test is a computerized visual search-
(Dittrich, 1998; Dittrich et al., 2006, 2010)). The 5D-ASC           ing task, based on the signal-detection theory. The test used
is one of the most widely used self-report questionnaires            is part of the “Wiener Testsystem”. A varying pattern of dots
for assessing subjective experiences of ASC (Studerus et al.,        is presented on the computer screens. A small portion of
2010). Further, its advantage has been shown in evaluating           all dots disappears on one site and reappears on another
subjective ketamine-induced consciousness alterations and            at intervals of 750 ms. This leads to a stepwise change of
experience (Vollenweider and Kometer, 2010). The 5D-ASC              the pattern of dots. The target stimulus is a square of dots
was applied 90–100 min after termination of the drug infu-           within the overall pattern of dots; all other dot configu-
sions.                                                               rations are non-target stimuli or „noise“. The target stim-

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Table 1     A description of the five oblique subscales of the 5D-ASC.
Oceanic                This subscale tries to assess structural changes in the experience of the self and the body, the relation to
boundlessness          the environment, alterations in time experience and mood changes in the direction of elevation and
(OSE)                  sublimity
                       Example items:
                       - It seemed to me that my environment and I were one.
                       - I felt very happy and content for no outward reason.
Dread of ego           This dimension describes a very unagreeable experience or state, which may be called ‘bad trip’ by
dissolution            psychedelic drug users. The AIA dimension is characterized by an accentuation of the subject/ object
(AIA)                  barrier, which is experienced with great distress. The unity of the person is split, and control over ego
                       functions is diminished.
                       Example items:
                       - I felt threatened without realizing by what.
                       - I observed myself as though I were a stranger.
Visual restruc-        This subscale tries to assess subjective visual phenomena. It comprises elementary, amorphous ‘primitive’
turalization           optical phenomena. Following this, there may be organized scenic hallucinatory phenomena, sometimes
(VUS)                  accompanied by hypnagogic imagery and synesthesia. A third category consists of alterations in the
                       meaning of things perceived in the environment.
                       Example items:
                       - I saw light or flashes of light in total darkness or with closed eyes.
                       - I saw things that I knew were not real.
Reduction of           This subscale consists of items characterizing reduction of sensory experience, less alertness up to clouding
vigilance (VIR)        of consciousness. The decrease in vigilance is typically accompanied by reduced self-control and cognitive
                       performance.
                       Example items:
                       - My thoughts and actions were slowed.
                       - I felt sleepy.
Auditory               This dimension measures acoustic phenomena. It consists of items like hearing clicks or amorphous low
alterations            noise, hearing music or voices, possibly commenting on the thinking or behavior of the subject.
(AWV)                  Example items:
                       - I heard words without knowing where they came from.
                       - A voice commented all what I thought.

uli are presented in each quadrant of the screen with the             3.     Results
same probability. The subjects are required to respond as
quickly as possible to the target stimulus, that is the for-          3.1.    General observations
mation of a square. There are 60 presentations of the tar-
get stimulus. The test lasts 15 min. The test indicates sus-          The application of ketamine was well tolerated by most of
tained attention, speed of information processing and vigi-           the subjects but two subjects exhibited undesirable effects.
lance (Schneider et al., 1999).                                       During the first minutes of the bolus application, one sub-
   Neurocognitive measurements took place in the period               ject described the experience as a “very strange altered
between 30 and 60 min after starting the infusion. The se-            state“, which made it necessary to stop the experiment.
quence of the neurocognitive tests was as follows:                    The subject recovered very quickly. His-high body weight
                                                                      (100 kg) implied a high bolus dose, which may have been
1.   Benton Visual Retention Test                                     causative. The other subject displayed mutism during the
2.   Go/NoGo                                                          first 15 min and was unable to communicate. The infusion
3.   Divided attention                                                was terminated and he recovered quickly. Nine subjects (7
4.   Reaction time                                                    in the (R/S)-ketamine and 2 in the (S)-ketamine group) de-
5.   Signal detection                                                 veloped nausea and vomiting during or shortly after chang-
                                                                      ing from prone to sitting position. One of these subjects pre-
                                                                      ferred to quit the experiment. The other eight subjects in-
2.3.5. Statistical analysis                                           sisted on continuing the experiment and interpreted tempo-
Data analyses were performed using SPSS (Statistical Pack-            rary nausea and vomiting as an insignificant affection. The
age for the Social Sciences), version 21.0. One-factor ANOVA          three subjects not completing the experiment did not con-
with Post hoc Bonferroni adjusted tests was used to evalu-            tribute any data to the study and were replaced by addition-
ate differences between groups. The dependent variable in             ally recruited subjects. All subjects recovered completely
each model is the respective score value of the psychologi-           from perceptible ketamine effects one hour after the end
cal test and the factor is the group assignment. Differences          of infusion, i.e. 120 min after the beginning of the experi-
were considered significant below p = 0.05.                           ment.

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Table 2 (S)-ketamine and (R/S)-ketamine plasma levels during the experiment (n = 30). The mean plasma levels of (R/S)- and
(S)-ketamine were within the expected 2:1 equivalent ratio after 60 min.
                                                          5 Min.                      30 Min.                  60 Min.
                                                          Mean ± SD                   Mean ± SD                Mean ± SD
ketamine plasma levels            Placebo                 00.00                       00.00                    00.00
(ng/ml)                           (S)-ketamine            82.43 ± 57.94               109.57 ± 48.18           159.43 ± 73.95
                                  (R/S)-ketamine          138.00 ± 45.24              179.89 ± 38.09           300.33 ± 32.86

3.2.   Plasma levels

(R/S)-Ketamine and (S)-ketamine plasma levels are shown
in Table 2. A steady increase of mean ketamine plasma
concentrations was observed during the experiments. The
range of plasma levels were in the same range for both ke-
tamine groups, but after 30 min the levels of (S)-ketamine
where relatively higher compared to the levels for (R/S)-
ketamine. At the 60 min time point, the plasma levels of
both substances were within in the expected range. To eval-
uate possible influence of the ketamine plasma levels an
analysis of variance was conducted with psychopathologi-
cal and neurocognitive scores as target variables, groups as
factors and the plasma level mean of the measurements at
30 and 60 min as covariates. The analysis did not show any
significant effects of the group and plasma levels on psy-
chopathological and neurocognitive measures.

3.2.   Psychopathological measures

Fig. 1 shows ratings obtained for objective psychopathology
using the BPRS indicating highly significant psychopathology        Fig. 1 Psychopathology measurements using the Brief Psychi-
for the (S)-ketamine group and significantly high scores for        atric Rating Scale (BPRS). Comparisons between the placebo
the (R/S)-ketamine group when compared to placebo. No               group with the (S)-ketamine group and (R/S)-ketamine groups
significant differences were found in BPRS scores between           showed significant psychopathology. ∗ Denotes significant
both ketamine groups.                                               level p
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Fig. 2 Effects of (S)-ketamine and (R/S)-ketamine compared to placebo on subjective psychopathology/states of consciousness
(n = 30) using the 5D-ASC questionnaire. Significant levels are summarized in Table 3.

Table 3 Results of ANOVA (between groups differences) and post hoc Bonferroni tests (multiple comparisons) on subjective
psychopathology/state of consciousness.
5D-ASC-Scores     F-value    df        p-value   Substance               Mean      ± SD      Multiple comparisons:
                                                                                             Bonferroni adjusted p values
Oceanic           11.079     2
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                                          T. Passie, H.-A. Adams, F. Logemann et al.

Table 4 Results of ANOVA (between groups differences) and post hoc Bonferroni tests (multiple comparisons) on neuropsycho-
logical tests (n = 30).
Neurocognitive measures    F-value   df      p-value      Substance        Mean        ± SD        Multiple comparisons:
A                                                                          A           A           Bonferroni adjusted p values
B                                                                          B           B           A/B
Benton Test Hits           5.706     2       0.009        (S)-ketamine   6.50          1.84        (S)-ketamine/(R/S)-ketamine:
            Errors         48.933    2       0.006                       4.40          2.41        0.437/0.147
                                                          (R/S)-ketamine 5.30          2.21
                                                                         7.00          3.97
                                                          Placebo        8.00          1.15        Placebo/(S)-ketamine
                                                                         2.60          1.51        0.216/0.495
                                                                                                   Placebo/(R/S)-ketamine:
                                                                                                   0.007/0.005
Go/NoGo       Hits         2.885     2       0.074        (S)-ketamine   23.00         0.67        (S)-ketamine/(R/S)-ketamine:
              Mean [ms]    6.594     2       0.005                       614.33        75.92       0.348/1.000
                                                          (R/S)-ketamine 22.30         1.42
                                                                         645.35        92.74
                                                          Placebo        23.33         0.50        Placebo/(S)-ketamine:
                                                                         516.96        67.19       1.000/0.040
                                                                                                   Placebo/(R/S)-ketamine:
                                                                                                   0.082/0.005
Divided       Mean [ms]    8.326     2       0.002        (S)-ketamine   778.65        61.68       (S)-ketamine/(R/S)-ketamine:
attention     Omissions    11.224    2
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                                      European Neuropsychopharmacology xxx (xxxx) xxx

patients who received (R/S)-ketamine had more pleas-                  cludes more than single patterns of subjective experience
ant and fewer unpleasant experiences during dreaming                  such as global misrepresentation and the context in which
compared to (S)-ketamine (White et al., 1980).                        the phenomenal experience emerges (Revonsuo et al.,
   In addition, the majority of previous experimen-                   2009). In the ketamine-evoked altered state of conscious-
tal studies implemented a one-bolus administration                    ness the adjunct of the (R)-enantiomer seems to support the
model (Adams et al., 1994, 1992a; Engelhardt, 1997;                   integration and evaluation of the sensory, affective and cog-
Pfenninger et al., 1994, 2002). Due to the large volume               nitive environment to a more desirable background mech-
of distribution associated with enantiomeric forms of ke-             anism and to mediate the relationship to the outer world
tamine, rapid (and undetected) declines in plasma levels              more positively.
during the testing period might be expected. This is es-                 This conclusion is supported by a negative functional
pecially problematic when stereoselective metabolism is               MRI (fMRI) response pattern in conscious rats treated
taken into account (Persson et al., 2002). A faster elimi-            with (R)-ketamine (see also section 4.4), and the ab-
nation of (S)-ketamine compared to (R/S)- or (R)-ketamine             sence of producing hyperlocomotion, deficits in prepulse
has been demonstrated (Geisslinger et al., 1993). For this            inhibition, and maladaptive reward sensitivity compared
reason, we employed a continuous infusion model followed              to rats after administration of (S)-ketamine or (R/S)-
by the determination of plasma levels.                                ketamine (Masaki et al., 2019; Yang et al., 2015). Com-
   The dosing scheme was decided based on reports                     pared to (S)-ketamine, (R)-ketamine seems to produce
in the literature, which have shown equivalent clini-                 abuse-related effects at doses much higher than the an-
cal effects with a 2:1 (R/S)- to (S)-ketamine dosing on               tidepressant dose (Zanos et al., 2019) and dissociative
EEG (Ihmsen et al., 2001) and in surgical anesthesia                  and psychotomimetic effects has been attributed mainly
(White et al., 1980, 1985; Geisslinger et al., 1993). (S)-            to the actions of (S)-ketamine (overview in Zanos et al.,
Ketamine has a higher systemic clearance when given alone             2018) (see also section 4.3). In addition, (R)-ketamine
compared to the racemic mixture, which suggests an in-                seems to be a more potent and longer acting antide-
hibition of (S)-ketamine clearance by the (R)-enantiomer              pressant compared to (S)-ketamine and (R/S)-ketamine
(Geisslinger et al., 1993; Ihmsen et al., 2001; Persson et al.,       (Chang et al., 2019; Hashimoto, 2019; Wei et al., 2020).
2002). In the present study, the plasma level of (S)-ketamine         Furthermore, different research groups demonstrated that
was observed to be 10 to 20% higher than expected af-                 the active metabolite (2R,6R)-hydroxynorketamine (HNK)
ter 30 min but the mean plasma levels of (R/S)- and (S)-              of (R)-ketamine might play a role in the potency and
ketamine were within the expected 2:1 ratio after 60 min.             the sustained antidepressant-like effects (overview in
Consequently, the major part of the neurocognitive testing            Hashimoto, 2019 and Hillhouse et al., 2019). (R)-Ketamine
was conducted during a period with appropriate plasma lev-            has approximately three to four-fold lower affinity for
els. An analysis of variance did not show significant effects         blocking the NMDA receptor compared to (S)-ketamine
of group and plasma levels on psychopathological and neu-             and therapeutically relevant concentrations of (2R,6R)-
rocognitive measures.                                                 HNK do not bind to or directly inhibit NMDA receptors
   Since many previous studies have been evaluated through            (Jelen et al., 2020). These findings question the role of
the eyes of anesthesiologists or within anesthesia settings,          NMDA receptor antagonism as the only or main mecha-
the research questions have been devoted more to unto-                nism for the antidepressant effects of ketamine. Alter-
ward interpretations of altered consciousness and cognitive           native molecular targets have been suggested, e.g. such
capacity. This may have led to the use of test instruments            as AMPA receptor-dependent signaling cascade resulting
unable to explore effects in more depth. For example, nei-            in BDNF-TrkB signaling and finally increased synaptoge-
ther the APZ nor the 5D-ASC or other self-administered tests          nesis (see also section 4.4) or, for example, improve-
have been used and neurocognitive measurements included               ment of gut microbiota composition resulting in antide-
less validated tests (Pfenninger et al., 2002).                       pressant actions mediated by the brain-gut-microbiota axis
                                                                      (Hashimoto, 2020). The small open-label pilot study of
                                                                      Leal et al. (2020) is insufficient to prove the antidepres-
4.2. Self-administered psychopathological                             sant efficacy of (R)-ketamine in TRD patients. Randomized
outcomes                                                              controlled studies (RCTs) on (R)-ketamine and direct com-
                                                                      parison of the safety and efficacy of (R)-ketamine and (S)-
In the present study 5D-ASC ratings for psychopathology               ketamine in TRD will be of great importance (Jelen et al.,
showed a congruent pattern with significant higher scores             2020).
of both ketamine preparations compared to placebo and                    Taken together, animal and human studies suggest that
no significant differences between (R/S)- and (S)-ketamine.           both (R)-ketamine and (S)-ketamine might complementar-
Interestingly, (R/S)-ketamine administration resulted in              ily or synergistically contribute to the antidepressant ef-
higher values reflecting the beneficially attributed dimen-           fects of ketamine based on different neurobiological mech-
sions OSE and VUS (Studerus et al., 2010; Vlisides et al.,            anisms (Jelen et al., 2020). In relation to the experience
2018), whereas the adversely assigned dimensions AIA, VIR,            of psychotomimetic symptoms and their potential contribu-
and AWV were highest, when (S)-ketamine has been given.               tion to the antidepressant effects, (R)-ketamine alone or
Thus, it seems that the (R)-enantiomer was able to balance            (R)-ketamine dominant variants (e.g. 2:1 to 4:1 ratio of (R)-
the (S)-enantiomer’s adverse parts of the altered state of            ketamine:(S)-ketamine) might therefore be more suitable
consciousness and promoting positive psychedelic experi-              to produce an anxiety-free and pleasant altered conscious-
ences, so that a more coherent state of consciousness is              ness and perceptions creating profound and long-lasting an-
experienced. The overall altered state of consciousness in-           tidepressant effects.

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                                         T. Passie, H.-A. Adams, F. Logemann et al.

4.3. Psychopathological outcomes of                                  corresponding brain regions (Vollenweider et al., 1997a).
subanaesthetic ketamine in previous studies                          In case of (R/S)-ketamine, however, similar increases in re-
                                                                     gional brain metabolism comparable to (S)-ketamine were
The findings of the present study are consistent with results        reported (Vollenweider et al., 1997a). A potential expla-
from a very recent systematic review and meta-analysis               nation for the fact that adding the (R)-enantiomer to the
including 725 healthy volunteers exposed to racemic ke-              (S)-enantiomer did not lead to increased psychopathology
tamine or (S)-ketamine compared to placebo (Beck et al.,             compared to the (S)-enantiomer alone, might be reflected
2020). There were no significant differences observed in             in (holistic) dynamics of cortical-subcortical patterns that
the BPRS and the Positive and Negative Syndrome Scale                might be functioning in a more “harmoniously concerted"
(PANSS). Interestingly, (S)-ketamine showed larger effect            way, i.e. the balance between different brain activations
sizes than (R/S)-ketamine and psychotomimetic symptoms,              and deactivations might be closer to the organism‘s usual
mainly symptoms of the positive scale, were more pro-                homeostasis. For example, it appears possible that (R)-
nounced when ketamine was given as a bolus. However, the             ketamine indirectly induces a somewhat augmented subcor-
clinician administered scores BPRS and PANSS are not ade-            tical arousal ("limbic activation") by suppressing some of the
quate to evaluate the altered state of consciousness.                increases of cortical metabolism induced by (S)-ketamine
   In a study on 9 patients with acute orofacial pain                as suggested by the results of Vollenweider et al. (1997a;
and 7 patients with chronic neuropathic orofacial pain,              1997b). Subjectively, this may lead to a more tolerable
subanesthetic doses of both (R/S)-ketamine (0.9 mg/kg                pattern of psychopathological side effects, which is espe-
i.m.) and (S)-ketamine (0.45 mg/kg i.m.) showed a com-               cially relevant to patients in other than surgical settings in-
parable prevalence of dizziness and illusions, approxi-              volving subanesthetic doses and without the additional ad-
mately 30% more proprioceptive disturbances and altered              ministration of benzodiazepines as is commonly the case
hearing with (S)-ketamine compared to (R/S)-ketamine,                for the treatment of TRD. In line with these observations
whereas dreams and hallucinations were only observed with            are fMRI findings on psilocybin, whose antidepressant ef-
(R/S)-ketamine and not with (S)-ketamine or (R)-ketamine             fects have been convincingly shown (Romeo et al., 2020).
(Mathisen et al., 1995). In a group of 6 healthy volunteers,         The primary predictor of positively experienced ego dis-
Øye et al. (1992) showed that (S)-ketamine at a dose of              solution was a reduction in hippocampal glutamate signal-
0.2 mg/kg i.v. elicited proprioceptive disturbances in all           ing, while the strongest predictor for acute psychedelic-
test persons compared to 2 volunteers with (R)-ketamine at           induced anxiety was localized glutamate-induced hyper-
0.8 mg/kg i.v.. These proprioceptive disturbances were of-           frontality (Mason et al., 2020).
ten characterized as “floating in the air” and appeared to be           As outlined in the introduction, the proposed mech-
associated with drowsiness. In another trial, 10 healthy vol-        anism of ketamine‘s antidepressant action is conceived
unteers received a bolus of either 15 mg (S)-ketamine or (R)-        to involve a NDMA receptor-dependent glutamatergic
ketamine followed by a continuous infusion of subanesthetic          AMPA receptor-dependent signaling cascade resulting in
doses (Vollenweider et al., 1997a). (S)-Ketamine produced            BDNF-TrkB signaling and finally increased synaptogenesis
acute psychotic reactions including depersonalization and            (Sanacora and Schatzberg, 2015). However, other mecha-
derealization phenomena, flattened affects and emotional             nisms of action such as dopaminergic/sigma 1 interactions
withdrawal (Vollenweider et al., 1997a). Furthermore, the            and serotonergic activity have been discussed (Sanacora and
results of the mood rating scale (Eigenschaftswörterliste)           Schatzberg, 2015). Preclinical research on antidepressant
showed negative and dysphoric feelings and anxiety. Over-            effects of ketamine indicates that (R)-ketamine strongly
all, emotional changes ranged from euphoria (30%), indiffer-         activates the prefrontal serotonergic system through an
ence (30%) or heightened anxiety (40%) (Vollenweider et al.,         AMPA receptor-independent way, whilst (S)-ketamine in-
1997a). In contrast, given in equipotent doses (R)-ketamine          duces both, serotonin and dopamine release AMPA receptor-
did not produce any psychotic symptoms, but instead a state          dependently (Ago et al., 2019).
of relaxation and well-being, that was characterized by fa-
cilitated introspection and a slight change in the time, com-
parable to a meditative state (Vollenweider et al., 1997a).          4.5.   Limitations

                                                                     Several limitations have to be considered. The number of
4.4. Mechanism of ketamine on                                        subjects enrolled in this pilot study might not have been
psychopathological and neurocognitive outcomes                       large enough to detect small differences. In addition, there
                                                                     were no further study arms with (R)-ketamine or different
Different effects of (S)-ketamine and (R)-ketamine on brain          (R/S)-ketamine-ratios. Therefore, the results of the present
metabolism and brain regions may account for their dif-              study might be used to design a trial with a larger number
ferences in clinical outcomes. In studies on patients diag-          of subjects including other (R/S)-ketamine-ratios.
nosed with schizophrenia with auditory hallucinations, an               The study population displayed a relatively high mean
activation of the temporomedial cortex was demonstrated              verbal IQ (mean 120 on the MWT-B), which might have con-
(Liddle et al., 1992). (S)-Ketamine increased metabolism             tributed to an improved ability to compensate for drug-
in this brain region (Vollenweider et al., 1997a) whereas            induced effects on cognition, thus, limiting the generaliz-
(R)-ketamine was observed to reduce brain metabolism                 ability of the results to larger populations.
(Liddle et al., 1992). In humans, (S)-ketamine increases                Another limitation might be seen in the steadily increas-
metabolic activity in most cortical brain regions, whereas           ing plasma levels, which may have altered the response of
(R)-ketamine decreases brain glucose metabolism in the               the subjects during the course of the experiment but this

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                                         European Neuropsychopharmacology xxx (xxxx) xxx

might be counterbalanced by the nearly equivalent increase                     of repeated-dose intravenous ketamine for treatment-resistant
for both substances.                                                           depression. Biol. Psychiatry 67 (2), 139–145.
   Lastly, in respect to hallucinatory activity, as measured by             Acevedo-Diaz, E.E., Cavanaugh, G.W., Greenstein, D., Kraus, C.,
the VUS score of the 5D-ASC, (S)-ketamine has been demon-                      Kadriu, B., Park, L., Zarate Jr., C.A., 2020. Can “floating” pre-
strated to have different effects in different settings. If an                 dict treatment response to ketamine? Data from three random-
                                                                               ized trials of individuals with treatment-resistant depression. J.
eyes-open condition is used, VUS scores were more than
                                                                               Psychiatr. Res. 130, 280–285.
three times lower (Passie et al., 2003, 2005) than those ob-                Adams, H.A., 1998. Wirkmechanismen von Ketamin. Anaesthesiol.
tained under eyes-closed condition as used in the present                      Reanim. 23, 60–63.
study (Table 3). Therefore, a different setting condition                   Adams, H.A., Bauer, R., Gebhardt, B., Menke, W., Baltes-Gotz, B.,
might have had a significant impact on some psychopatho-                       1994. TIVA mit S-(+)-ketamin in der orthopadischen alter-
logical symptoms.                                                              schirurgie. endokrine stressreaktion. Kreislauf - Aufwachverhal-
                                                                               ten. Anaesthesist. 43, 92–100.
                                                                            Adams, H.A., Thiel, A., Jung, A., Fengler, G., Hempelmann, G.,
                                                                               1992a. Untersuchungen mit S-(+)-ketamin an probanden. En-
Conclusion                                                                     dokrine und kreislaufreaktionen. Aufwachverhalten. Traumer-
                                                                               lebnisse. Anaesth. 41, 588–596.
In the present study, clinician administered and self-                      Adams, H.A., Weber, B., Bachmann, M.B., Guerin, M., Hempel-
administered psychopathology as well as neurocognitive                         mann, G., 1992b. Die simultane Bestimmung von Ketamin und
performance tests following administration of equipotent                       Midazolam mittels Hochdruck-Flüssigkeits-chromatographie und
doses of (R/S)-ketamine and (S)-ketamine revealed no sig-                      UV-Detektion (HPLC/UV). Anaesthesist 41, 619–624.
nificant differences. However, compared to (S)-ketamine,                    Ago, Y., Tanabe, W., Higuchi, M., Tsukada, S., Tanaka, T., Yam-
(R/S)-ketamine administration resulted in a more pro-                          aguchi, T., Igarashi, H., Yokoyama, R., Seiriki, K., Kasai, A.,
nounced effect that reflected beneficially attributed di-                      Nakazawa, T., Nakagawa, S., Hashimoto, K., Hashimoto, H.,
                                                                               2019. (R)-ketamine induces a greater increase in prefrontal
mensions of the 5D-ASC. If the antidepressant effect of
                                                                               5-HT release than (S)-ketamine and ketamine metabolites via
ketamine is associated with an anxiety-free and pleasant
                                                                               an AMPA receptor-independent mechanism. Int. J. Neuropsy-
experience of altered consciousness and perceptions, the                       chopharmacol. 22 (10), 665–674.
ideal ketamine preparation used treat TRD should include                    Aust, S., Gärtner, M., Basso, L., Otte, C., Wingenfeld, K.,
(R)-ketamine. Moreover, since preclinical data indicate that                   Chae, W.R., Heuser-Collier, I., Regen, F., Cosma, N.C., van
(R)-ketamine is a more potent and longer acting antidepres-                    Hall, F., Grimm, S., Bajbouj, M., 2019. Anxiety during ke-
sant compared to (S)-ketamine and (R/S)-ketamine, RCTs                         tamine infusions is associated with negatiive treatment re-
on (R)-ketamine and comparative studies with (S)-ketamine                      sponses in major depressive disorder. Eur. Neuropsychopharma-
and (R/S)-ketamine are eagerly awaited.                                        col. 29, 529–538.
                                                                            Ballard, E.D., Zarate Jr., C.A., 2020. The role of dissociation in ke-
                                                                               tamine‘s antidepressant effects. Nat. Commun. 11 (1), 6431.
                                                                            Beck, K., Hindley, G., Borgan, F., Ginestet, C., McCutcheon, R.,
Role of funding source                                                         Brugger, S., Driesen, N., Ranganathan, M., D‘Souza, D.C., Tay-
                                                                               lor, M., Krystal, J.H., Howes, O.D., 2020. Association of ke-
No funding received.                                                           tamine with psychiatric symptoms and impications for its ther-
                                                                               apeutic use and for understanding schizophrenia. A sytematic
                                                                               review and meta-analysis. JAMA Netw. Open 3 (5), e204693.
                                                                            Benton, A.L., 1945. A visual retention test for clinical use. Arch.
Contributors
                                                                               Neurol. Psychiatry 54, 212–216.
                                                                            Berman, R.M., Cappiello, A., Anand, A., Oren, D.A., Heninger, G.R.,
Authors TP and HAA designed the study and wrote the proto-                     Charney, D.S., Krystal, J.H., 2000. Antidepressant effects of ke-
col. Authors TP, FL, MK carried out the clinical experiments.                  tamine in depressed patients. Biol. Psychiatry 47, 351–354.
Authors TP, MK, SDB managed the literature searches and                     Breier, A., Malhotra, A.K., Pinals, D.A., Weisenfeld, N.I., Pickar, D.,
analyses. Author BW undertook the statistical analysis, and                    1997. Association of ketamine-induced psychosis with focal ac-
author TP wrote the first draft of the manuscript. All authors                 tivation of the prefrontal cortex in healthy volunteers. Am. J.
contributed to and have approved the final manuscript.                         Psychiatry 154, 805–811.
                                                                            Chambers, R.A., Bremner, J.D., Moghaddam, B., Southwick, S.M.,
                                                                               Charney, D.S., Krystal, J.H., 1999. Glutamate and post-trau-
                                                                               matic stress disorder: toward a psychobiology of dissociation.
Declaration of Competing interest                                              Semin. Clin. Neuropsychiatry 4, 274–281.
                                                                            Chang, L., Zhang, K., Pu, Y., Qu, Y., Wang, S.-.M., Xiong, Z.,
None.                                                                          Ren, Q., Dong, C., Fujita, Y., Hashimoto, K., 2019. Comparison
                                                                               of antidepressant adn side effects in mice after intransal ad-
                                                                               ministration of (R,S)-ketamine, (R)-ketamine, and (S)-ketamine.
Acknowledgements                                                               Pharmacol. Biochem. Behav. 181, 53–59.
                                                                            Correia-Melo, F.S., Leal, G.C., Vieira, F., Jesus-Nunes, A.P.,
                                                                               Mello,     R.P.,    Magnavita,     G.,   Caliman-Fontes,      A.T.,
None
                                                                               Echegaray, M.V.F., Bandeira, I.D., Silva, S.S., Cavalcanti, D.E.,
                                                                               Araújo-de-Freitas, L., Sarin, L.M., Tuena, M.A., Nakahira, C.,
                                                                               Sampaio, A.S., Del-Porto, J.A., Turecki, G., Loo, C., Lac-
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